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nizations, except with the utmost care in the safeguarding of such funds a

and the maintenance of full and complete records with regard to the receipt, custody, and disbursement of such funds. Such records shall be made available to appropriate authorities upon proper request.

$0.733.5-18. Ex parte contacts.

Certain ex parte contacts by an employee are prohibited in quasi-judicial proceedings under $ $ 2.719 and 2.780 of this chapter.

$ 0.7:3.5–1) Employee indebtedness.

Except as provided in $ 0.735-42(d). the NRC considers the credit affairs of its employees essentially their own

pes essentially their own concern. However, employees are expected to conduct their credit affairs in a manner which does not reflect adversely on the Government as their employer. The NRC will not be placed in the position of acting as a collection agency for private debts or of determining the validity or amount of contested debts to private concerns. An employee is expected to pay each just financial obligation in a proper and timely manner, especially one imposed by law such as Federal, State, or local taxes. Failure on the part of an employee without good reason to honor just financial obligations or to make or adhere to satisfactory arrangements for settlement may be cause for disci. plinary action. For the purpose of this section, a "just financial obligation" means one acknowledged by the em ployee or reduced to judgment by a court, and win a proper and timely manner" means in a manner which NRC determines does not, under the circumstances, reflect adversely on the Government as the individual's employer. (46 FR 51717, Oct. 22, 1981)

8 0.7:3:5-16 Gambling, betting, and lotter

ies. An employee shall not participate, while on Government-owned or -leased property or while on duty for the Government, in any gambling activity including the operation of a gambling device, in conducting a lottery or pool, in a game for money or property, or in selling or purchasing a numbers slip or ticket. However, this section does not preclude activities:

(a) Necessitated by an employee's law enforcement duties; or

(b) Under Section 3 of Executive Order 10927 and similar agency-approved activities.

8 0.733.3-19 Employment of persons on ex.

tended leave of absence from a previ. ous employer with reemployment rights or other benefits with the previ. ous employer. (a) NRC may employ persons on extended leave of absence from private employers where it is the way most advantageous to the NRC to obtain qualified employees with needed skills and no violation of conflict of interest statutes would be involved. The necessity for continued employment of such persons shall be reviewed annually by the Director, Office of Administration. In their NRC assignments, such employees shall not be permitted to handle, directly or indirectly, or have access to, business confidential data of their former employers' competitors.

(b) When it is proposed to employ such a person, a statement of the exact terms and conditions of the leave of absence from his employer will be obtained from the prospective employee and submitted to the General Counsel for a prior determination of possible violation of statute.

(c) The following quotation from 18 U.S.C. 209 is pertinent to this situation.

(b) Nothing herein prevents an officer or c' mployee of the executive branch of the U.S. Government. or of any independent agency of the United States, or of the District of Columbia, from continuing to participate in a bona fide pension, retirement, group life, health or accident insurance, profit-sharing, stock bonus, or other employee welfare or benefit plan maintained by a former employer.

$ 0.73.5-17 Handling of funds entrusted by

fellow employees. No employee shall receive, retain, or disburse funds entrusted to him by fellow employees, e.g., credit union deposits or donations to charitable orga

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ment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.

$ 0.735-19a Other proscribed actions.

An employee shall avoid any action, whether or not specifically prohibited by this Part 0, which might result in, or create the appearance of:

(a) Using a public office for private gain;

(b) Giving preferential treatment to any person;

(c) Impeding Government efficiency or economy;

(d) Losing complete independence or impartiality;

(e) Making a Government decision outside official channels; or

(f) Affecting adversely the confidence of the public in the integrity of the Government. (32 FR 13653, Sept. 29, 1967)

$ 0.7:3:3-5: Gifts, entertainment, and

favors. (a) Except as provided in paragraph (b) of this section, a special Government employee, while so employed or in connection with his employment, shall not receive or solicit from a person having business with NRC any. thing of value as a gift, gratuity, loan, entertainment, or favor for himself or another person, particularly one with whom he has family, business, or financial ties.

(b) Exceptions authorized for employees under $0.735-42 shall have equal application with respect to spe. cial Government employees.

Subpart E-Ethical and Other Conduct

and Responsibilities of Special

Government Employees $ 0.735–50 Use of Government employ.

ment. A special Government employee shall not use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties.

$ 0.735-51 Use of inside information.

(a) A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public information.

(b) Special Government employees may teach, lecture, or write in a manner not inconsistent with $ 0.73540(d), in regard to employees.

$ 0.73.5-5! Miscellaneous statutory provi

sions. Each special Government employee shall acquaint himself with each statute that relates to his ethical and other conduct as a special Government employee of NRC and of the Government. The NRC official responsible for his appointment shall call his attention specifically to $$ 0.735-21, 0.735-22, 0.735-23, 0.735-24(c), 0.73525, 0.735-26, 0.735-27, and 0.735-30. 80.733.5-35 Applicable standards of con.

duct. Special Government employees shall adhere to the standards of conduct made applicable to such employees by Subpart B of this part and to the standards of conduct made applicable to regular employees by S8 0.735-43, 0.735-44, 0.735–46, and 0.735-48. In addition, special Government employees who are not consultants or advisers shall also be subject to $8 0.735-45 and 0.735-47. ANNEX A-CODE OF ETHICS FOR GOVERN

MENT SERVICE (5 U.S.C. 7301) Any person in Government service should:

1. Put loyalty to the highest moral princi. ples and to country above loyalty to persons, party, or Government department.

2. Uphold the Constitution, laws, and legal Regulations of the United States and of all

$ 0.735-32 Coercion.

A special Government employee shall not use his Government employ

EXECUTIVE DIRECTOR Sec. 1.40 Office of the Executive Director for


governments therein and never be a party to their evasion.

3. Give a full day's labor for a full day's pay: giving to the performance of his duties his earnest effort and best thought.

4. Seek to find and employ more efficient and economical ways of getting tasks accomplished.

5. Never discriminate unfairly by the dispensing of special lavors or privileges to anyone, whether for remuneration or not: and never accept, for himself or his family. favors or benefits under circumstances which might be construed by reasonable persons as influencing the performance of his governmental duties.

6. Make no private promises of any kind binding upon the duties of office, since a Government employee has no private word which can be binding on public duty.

7. Engage in no business with the Government, either directly or indirectly, which is inconsistent with the conscientious performance of his governmental duties.

8. Never use any information coming to him confidentially in the performance of governmental duties as a means for making private profit.

9. Expose corruption wherever discovered.

10. Uphold these principles, ever conscious that public office is a public trust. (46 FR 51717, Oct. 22, 1981)

STAFF OFFICES 1.41 Office of Administration. 1.42 Office of the Executive Legal Direc

tor. 1.43 Office of the Controller. 1.44 Office of Equal Employment Opportu

nity. 1.45 Office of Planning and Analysis. 1.46 Office of International Programs. 1.47 Office of State Programs. 1.48 Office of Management Information

and Program Control.

PROGRAM OFFICES 1.60 Office of Nuclear Material Safety and

Safeguards. 1.61 Office of Nuclear Reactor Regulation. 1.62 Office of Nuclear Regulatory Re

search. 1.63 Office of Standards Development. 1.64 Office of Inspection and Enforcement.



Subpart C-NRC Seal and Flag 1.80 Description and custody of NRC seal. 1.81 Use of NRC seal or replicas. 1.82 Establishment of official NRC flag. 1.83 Use of NRC flag. 1.84 Report of violations.

AUTHORITY: Sec. 161, Pub. L. 83-703, 68 Stat. 948 (42 U.S.C. 2201); secs. 201, 203, 204. 205, and 209. Pub. L. 93-438, 88 Stat. 1242, 1244, 1245, 1246, and 1248 (42 U.S.C. 5841, 5843, 5844, 5845, and 5849); Pub. L. 94-79, 89. Stat. 413; and 5 U.S.C. 552 and 553.

SOURCE: 42 FR 36797, July 18, 1977, unless otherwise noted.

NOMENCLATURE CHANGE: 45 FR 14200, Mar. 5, 1980.

Subpart A-Introduction

Sec. 1.1 Creation and authority.. 1.2 Sources of additional information. 1.3 Location of principal offices and per

gional offices.

Subpart A-Introduction

Subpart B—Headquarters 1.10 The Commission.

PANELS. BOARDS, AND COMMITTEES 1.11 Atomic Safety and Licensing Board

Panel. 1.12 Atomic Safety and Licensing Appeal

Panel. 1.20 Advisory Committee on Reactor Safe

guards. 1.21 Other committees, boards, and panels.

$ 1.1 (reation and authority.

(a) The Nuclear Regulatory Commission was established by the Energy Reorganization Act of 1974, as amended, Pub. L. 93-438, 88 Stat. 1233 (42 U.S.C. 5801 et seq.). This Act abolished the Atomic Energy Commission and, by section 201, transferred to the Nuclear Regulatory Commission all the licensing and related regulatory functions assigned to the Atomic Energy Commission by the Atomic Energy Act of 1954, as amended, Pub. L. 83-703, 68 Stat. 919 (42 U.S.C. 2011 et seq.).

COMMISSION STAFF 1.30 Office of Inspector and Auditor. 1.31 Office of Policy Evaluation. 1.32 Office of the General Counsel. 1.33 Office of the Secretary. 1.34 Office of Public Affairs. 1.35 Office of Congressional Affairs.

review of the complaint. A bargaining (iii) Companies manufacturing or unit employee must use the grievance selling nuclear power or test reactors. procedure negotiated with the Nation (iv) Architectural-engineering comal Treasury Employees Union.

panies that have been engaged to pro[45 FR 26022, Apr. 17, 1980, as amended at

vide services relating to a nuclear fa46 FR 51717, Oct. 22, 1981)

cility by an applicant for a construc

tion permit or an applicant for an op$ 0.735-29 Restriction against ownership erating license, and architectural-engiof certain security interests by Com

neering companies which have filed a missioners, certain staff members and standard reference design that is other related personnel

under Commission review or has been (a) No Commissioner or employee, approved by the Commission and is including special government employs currently effective. ees who are members of the Advisory (v) Companies licensed by the ComCommittee on Reactor Safeguards, mission to mill, convert, enrich, fabrithe Atomic Safety and Licensing cate, store, or dispose of source or spe. Board Panel or the Atomic Safety and cial nuclear material, or applicants for Licensing Appeal Panel, who occupies such licenses. a position at or above GS-13 or its (2)(i) An individual covered by this equivalent, shall own any stocks, section who owns securities described bonds, or other security interests

in paragraph (a)(1) of this section issued by any entity falling within the

shall dispose of them no later than 365 categories set forth in paragraph

days after the entities first appear on (b)(1) of this section. This prohibition

the list described in paragraph (a) of also applies to employees who occupy

this section. Notwithstanding the propositions below the GS-13 level that

visions of $ 0.735-21(c), no employee fall within occupational codes desig

may participate personally and subnated by the Commission. The restric

stantially in a particular matter affecttions set forth in this section apply to

ing any entity that appears on the list spouse, minor child, or other members

as long as the employee or his spouse, of the immediate household of a Com

minor child, or other members of his missioner, employee, or special govern

immediate household owns the secument employee. In cases where the

rity interest. entity covered by the prohibition is a subsidiary of another corporation, the

(ii) An individual newly employed by

NRC who is covered by this section prohibition extends to the parent com

shall dispose of any securities depany. (b) The Commission will publish

scribed in paragraph (a)(1) of this sectwice yearly a list of stocks, bonds, and

tion that the employee may own no other security interests which employ

later than 30 days after his entrance ees covered by this section may not

on duty and within the same period own.

shall ensure and sign a certification (1) These are stocks, bonds, or other that neither the employee nor any insecurity interests issued by:

dividual who is covered by this section (i) Publicly or privately owned utili

through relationship with him owns ties which have filed an application any securities described in that parawith the Commission requesting an graph. early site review, or seeking authoriza

(c) Each individual employed by tion to construct or operate a facility NRC who is covered by this section for the generation of electric energy shall each year sign either: (1) A certiby means of a nuclear reactor and fication that neither he nor any indithose utilities which have received a vidual covered by this section through construction permit or an operating li relationship with him owns any securicense from the Commission that is ties described in paragraph (a)(1) of currently effective.

this section or, if he or any such indi(ii) State or local governments, if the vidual in fact owns securities therein primary purpose of the security is to described, (2) a certification identify. finance the construction or operation ing them, disclosing how and when of a nuclear reactor.

they were acquired and stating ap

Subpart B—Headquarters

191 of the Atomic Energy Act, conduct

such hearings as the Commission may $ 1.10 The Commission.

authorize or direct, make such inter

mediate or final decisions as the Com(a) The Nuclear Regulatory Commis

mission may authorize in proceedings sion, composed of five members, one of whom is designated by the President

to grant, suspend, revoke, or amend lias Chairman, is established pursuant

censes or authorizations, and perform to section 201 of the Energy Reorgani

such other regulatory functions as the zation Act of 1974, as amended. The

Commission may specify. The Panel Chairman is the principal executive

develops procedures and makes recomofficer of the Commission, and exer

mendations to the Commission regardcises its executive and administrative

ing activities of the hearing boards. functions with respect to appointment

The Panel shall be comprised of a and supervision of personnel, except

Chief Administrative Judge who shall as otherwise provided by the Energy

be Chairman and such other AdminisReorganization Act of 1974, as amend trative Judges as may be appointed ed; distribution of business; use and members of the Panel. expenditure of funds (except that the

[45 FR 80271. Dec. 4. 1980) function of revising budget estimates and purposes is reserved to the Com- $ 1.12 Atomic Safety and Licensing mission); and appointment, subject to

Appeal Panel. approval of the Commission, of heads of major administrative units under

The Atomic Safety and Licensing the Commission.

Appeal Panel is the organizational (b) The following staff units and of.

group from which Atomic Safety and ficials report directly to the Commis Licensing Appeal Boards are selected. sion: Atomic Safety and Licensing Under powers delegated by the ComBoard Panel, Atomic Safety and Li- mission, these three-member Boards censing Appeal Panel, Office of In- exercise the authority and perform spector and Auditor, Office of Policy the regulatory review functions which Evaluation, Office of the General would otherwise be exercised and perCounsel, Office of the Secretary, formed by the Commission. They perOffice of Public Affairs, Office of Con- form these functions in proceedings on gressional Affairs, the Executive Di- licenses under 10 CFR Part 50, and rector for Operations, and other com- such other licensing proceedings as mittees and boards which are author- the Commission may specify, reviewized or established specifically by the ing initial decisions and other isAct. The Directors of the Offices of suances of Atomic Safety and LicensNuclear Reactor Regulation, Nuclearing Boards and other presiding offiMaterial Safety and Safeguards, and cers. The Panel shall be comprised of Nuclear Regulatory Research may a Chief Administrative Judge who communicate with and report directly shall be Chairman and such other Adto the Commission, under the provi- ministrative Judges as may be appointsions of section 209 of the Energy Re- ed members of the Panel. organization Act of 1974. The Advisory Committee on Reactor Safeguards

(45 FR 80271, Dec. 4, 1980) also reports directly to the Commis

$ 1.20 Advisory Committee on Reactor sion.


The Advisory Committee on Reactor

Safeguards was established by Section $ 1.11. Atomic Safety and Licensing Board

29 of the Atomic Energy Act of 1954, Panel.

as amended, and transferred to the The Atomic Safety and Licensing NRC pursuant to the Energy ReorgaBoard Panel is the organizational nization Act of 1974, as amended. The group from which Atomic Safety and Committee reviews safety studies, and Licensing Boards are selected. These applications for construction permits three-member boards, named in ac- and operating licenses for production cordance with the provisions of section and utilization facilities, and makes re

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